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DWS INVESTMENTS HONG KONG LIMITED

HONG KONG, China · CRD 139666 · IAPD ↗ · etf.dws.com · 852-2203-8888

$5.10BRegulatory AUM
17Advisory reps
62Employees
1Clients
n/aPlanning clients
0Private funds
0States
139Disclosures
foreignSegment
ApprovedSEC status

Filing changes

25
October 2026 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 2 (137 -> 139).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
June 2026 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 2 (135 -> 137).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
May 2026 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 3 (132 -> 135).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
45
April 2026 — DWS INVESTMENTS HONG KONG LIMITED reported RAUM up 112% ($2.41B -> $5.10B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
25
January 2026 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 1 (142 -> 143).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
December 2025 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 3 (139 -> 142).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
July 2025 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 2 (137 -> 139).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
June 2025 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 10 (127 -> 137).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
May 2025 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 2 (125 -> 127).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
April 2025 — DWS INVESTMENTS HONG KONG LIMITED shrank from 20 to 16 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
25
February 2025 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 3 (123 -> 126).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
November 2024 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 10 (113 -> 123).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
October 2024 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 2 (111 -> 113).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
September 2024 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 4 (107 -> 111).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
August 2024 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 3 (104 -> 107).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
July 2024 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 2 (102 -> 104).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
May 2024 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 1 (101 -> 102).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
20
April 2024 — DWS INVESTMENTS HONG KONG LIMITED reported RAUM down 46% ($6.35B -> $3.45B).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
25
April 2024 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 3 (98 -> 101).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
March 2024 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 3 (95 -> 98).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
25
February 2024 — DWS INVESTMENTS HONG KONG LIMITED's Item 11 disclosure-reporting entries rose by 1 (94 -> 95).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.